Larry J. Hart
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Larry Joe Hart was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 1977. Larry had worked at 3 firms and has passed the Series 63, Series 7TO, Series 52TO, Series 99TO, SIE, Series 50, Series 7, Series 24, Series 54, Series 28 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 1992 - June 14, 2024
L.J. HART AND COMPANY
May 5, 1978 - June 5, 1991
DAIN RAUSCHER INCORPORATED
April 21, 1977 - May 5, 1978
BOSWORTH SULLIVAN & COMPANY INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 2/14/2024
General Securities Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 9/6/1991
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
L.J. HART AND COMPANY
CRD#: 28867 / SEC#: , 8-43976
Contact information
FINRA licenses (7 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMERCE BANK | SOLE STOCKHOLDER | |
| HARMON, THOMAS DARIN | CHAIRMAN | 7787415 |
| PISARKIEWICZ, THOMAS JOHN | PRESIDENT/CEO/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/TREASURER | 5173363 |
| REECE, JOSEPH STEVEN | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 2227282 |
| ROWE, MARGARET MCSHANE | CORPORATE SECRETARY / GENERAL COUNSEL | 7576973 |
| SWANSON, ERIK ANDREW | EXECUTIVE VICE PRESIDENT | 4170204 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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